le 28 mai 2010 Market Regulation Document Type IIROC rule review IIROC Rules Notice – Request for Comments – Proposed Rule on Personal Financial Dealings with Clients and Amendments to IIROC Dealer Member Rule 18.14 – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 23 avril 2010 Market Regulation Document Type IIROC rule review Proposed Amendments – Request for Comments – Provisions Respecting Market Maker, Odd Lot and Other Marketplace Trading Obligations – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 9 avril 2010 Market Regulation Document Type IIROC rule review IIROC Rules Notice 10-0097 – Request for Comment – Dealer Member Rules – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 26 mars 2010 Market Regulation Document Type IIROC rule review IIROC Rules Notice – Request for Comments: Proposed Plain Language Rules – 3100 – Business Conduct and 3200 – Client Accounts – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 9 octobre 2009 Market Regulation Document Type IIROC rule review Summary of Comments Received in Response to Request for Comments – IIROC Amendments to Implement the Registration Reform Project – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 13 août 2010 Market Regulation Document Type MFDA rule review Proposed Amendments to MFDA Rule 3.1.1 (Capital - Minimum Levels) and MFDA Form 1 - Financial Questionnaire and Report – Mutual Fund Dealers Association of Canada (MFDA) Marchés, OAR et agences de compensation
le 9 octobre 2009 Market Regulation Document Type IIROC rule review IIROC Rules Notice – Notice of Approval – Dealer Member Rule Amendments to Implement the CSA's Registration Reform Project – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 2 octobre 2009 Market Regulation Document Type IIROC rule review Assignment of Powers and Duties of the Director to the Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 11 février 2011 Market Regulation Document Type IIROC rule review Plain language rule re-write project – Dealer Member Organization and Registration Rules – Proposed Rules 2100-2700 – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 21 janvier 2011 Market Regulation Document Type MFDA rule review Notice of Commission Approval – Amendments to MFDA Rule 3.1.1 (Capital – Minimum Levels) and Form 1 – Financial Questionnaire and Report – Mutual Fund Dealers Association of Canada (MFDA) Marchés, OAR et agences de compensation
le 29 octobre 2010 Market Regulation Document Type MFDA rule review Summary of Public Comments Respecting Proposed Consequential Amendments Resulting from NI 31-103 Registration Requirements and Exemptions – MFDA Rules 1.2 (Individual Qualifications), 2.4.2 (Referral Arrangements), 2.5 (Minimum Standards of Supervision), 5.3 (Client Reporting), and 5.6 (Record Retention) and MFDA Policy No. 6 Information Reporting Requirements and Responses of the MFDA – Mutual Fund Dealers Association of Canada (MFDA) Marchés, OAR et agences de compensation
le 28 janvier 2011 Market Regulation Document Type IIROC rule review Provisions Respecting the Implementation of the Order Protection Rule – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 28 janvier 2011 Market Regulation Document Type IIROC rule review Notice of Commission Approval – IIROC UMIR Amendments Relating to Order Protection Rule – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 7 janvier 2011 Market Regulation Document Type IIROC rule review Response to Comments on Client Relationship Model Rules and Amendments to IIROC Dealer Member Rules 200 and 1300 – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 7 janvier 2011 Market Regulation Document Type IIROC rule review IIROC Rules Notice – Request for Comments – Republication – Dealer Member Rules – Proposals to Implement the Core Principles of the Client Relationship Model – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 25 février 2011 Market Regulation Document Type IIROC rule review OSC Staff Notice of Approval – Housekeeping Amendments to Form 1 to Adopt CAS for the Audits of Regulatory Financial Statements – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 25 février 2011 Market Regulation Document Type IIROC rule review IIROC Rules Notice 11-0075 – Request for Comments – Provisions Respecting Regulation of Short Sales and Failed Trades – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 27 août 2010 Market Regulation Document Type IIROC rule review IIROC Notice – Amendments to Form 1 to adopt IFRS for regulatory reporting purposes – Investment Industry Regulatory Organization of Canada (IIROC) Marchés, OAR et agences de compensation
le 23 mai 2019 Market Regulation Document Type Chicago Mercantile Exchange Inc. orders and notices Notice of Commission Approval – Approval to Act as a Trade Repository in Ontario to Which Reporting Counterparties Can Report Trades in the Equity Asset Class – Chicago Mercantile Exchange Inc. Marchés, OAR et agences de compensation
le 31 juillet 2014 Market Regulation Document Type Chicago Mercantile Exchange Inc. orders and notices OSC Notice and Request for Comment – Application for Designation as a Trade Repository – Chicago Mercantile Exchange Inc., DTCC Data Repository (U.S.) LLC, ICE Trade Vault, LLC Marchés, OAR et agences de compensation
